JC
Jennifer E. Cody
ARIEL DISTRIBUTORS
Chicago, IL 60601
Some features on this profile are disabled
CRD#: 4594952
JC
Professional summary
Jennifer Elizabeth Digrazia Cody, who also goes by Jennifer Elizabeth Digrazia, Jennifer Digrazia, is a registered financial professional currently at ARIEL DISTRIBUTORS, LLC located in Chicago, Illinois.
Jennifer is registered as a RR (Registered Representative) and started their career in finance in 2003. Jennifer has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jennifer Elizabeth Digrazia | Jennifer Digrazia
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Jennifer Elizabeth Digrazia Cody's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 22, 2019 - Present
ARIEL DISTRIBUTORS, LLC
Office #1: 200 East Randolph Street Suite 2900, Chicago, IL 60601Office #2: 200 East Randolph Street Suite 2900, Chicago, IL 60601BD
CRD#: 38333
Chicago, IL
Past
November 8, 2017 - November 12, 2018
ARIEL DISTRIBUTORS, LLC
BD
CRD#: 38333
CHICAGO, IL
Past
June 18, 2003 - September 27, 2005
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/24/2019)
RR
Alaska(5/13/2019)
RR
Arizona(5/9/2019)
RR
Arkansas(4/24/2019)
RR
California(4/23/2019)
RR
Colorado(4/23/2019)
RR
Connecticut(4/24/2019)
RR
Delaware(7/11/2019)
RR
District of Columbia(5/14/2019)
RR
Florida(5/13/2019)
RR
Georgia(7/22/2019)
RR
Hawaii(5/16/2019)
RR
Idaho(4/22/2019)
RR
Illinois(5/29/2019)
RR
Indiana(4/24/2019)
RR
Iowa(4/24/2019)
RR
Kansas(4/24/2019)
RR
Kentucky(5/9/2019)
RR
Louisiana(5/13/2019)
RR
Maine(4/23/2019)
RR
Maryland(4/23/2019)
RR
Massachusetts(4/23/2019)
RR
Michigan(5/10/2019)
RR
Minnesota(5/13/2019)
RR
Mississippi(4/24/2019)
RR
Missouri(4/24/2019)
RR
Montana(5/13/2019)
RR
Nebraska(4/24/2019)
RR
Nevada(5/1/2019)
RR
New Hampshire(6/5/2019)
RR
New Jersey(5/14/2019)
RR
New Mexico(5/10/2019)
RR
New York(6/12/2019)
RR
North Carolina(4/23/2019)
RR
North Dakota(5/20/2019)
RR
Ohio(4/23/2019)
RR
Oklahoma(4/23/2019)
RR
Oregon(4/23/2019)
RR
Pennsylvania(4/23/2019)
RR
Puerto Rico(4/23/2019)
RR
Rhode Island(4/24/2019)
RR
South Carolina(4/25/2019)
RR
South Dakota(5/13/2019)
RR
Tennessee(5/15/2019)
RR
Texas(5/13/2019)
RR
Utah(4/23/2019)
RR
Vermont(5/13/2019)
RR
Virgin Islands(5/14/2019)
RR
Virginia(4/23/2019)
RR
Washington(4/23/2019)
RR
West Virginia(5/31/2019)
RR
Wisconsin(4/26/2019)
RR
Wyoming(4/23/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AD
ARIEL DISTRIBUTORS, LLC
ARIEL DISTRIBUTORS, INC. | ARIEL DISTRIBUTORS, LLC
CRD#: 38333 / SEC#: , 8-48238
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 East Randolph Street Suite 2900, Chicago, IL 60601
Mailing Address
200 East Randolph Street Suite 2900, Chicago, IL 60601
Phone number
(312) 726-0140
Established
Delaware since 10/23/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARIEL INVESTMENTS HOLDING COMPANY, LLC | SOLE UNITHOLDER | |
| CALDERON, CARLOS ESTUARDO | SENIOR VICE PRESIDENT, FINANCE | 6864114 |
| CAMPBELL, ROBERT NMN | FINOP, PFO, POO | 1349154 |
| FOX, WENDY DEVORAH | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4870574 |
| ORLOWSKI, BONNIE ELIZABETH | PRESIDENT, CHAIRMAN, MANAGER | 3121598 |
| RODRIGUEZ-AYALA, EMMA LEONOR | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 6183654 |
| WEBER, ROOPA PATEL | SENIOR VICE PRESIDENT, DIRECTOR OF MARKETING AND SPECIAL PROJECTS | 3026056 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
